*Letters

Alternative Implementation Timeframe for the Large Trader Reporting Rule for Broker-Dealers

Published on:
March 29, 2012
Issue:
Committee:

SIFMA recommends to the Securities and Exchange Commission (SEC) an alternative implementation timeframe for the large trader reporting rule (SEC Rule 13h-1) for broker-dealers.  SIFMA stated that broker-dealers are still in need of considerable information from the SEC staff in order to proceed with certain implementation tasks, and that there are basic challenges firms face in implementing the rule.  SIFMA’s alternative timeframe for broker-dealers would address these issues and work to ensure that there is no inadvertent, adverse impact on our markets of the new rule.

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